OANDA, New York based forex trading serving provider recently revealed in an announcement that it has made a new addition to its APAC region senior level leadership team. As per statement released by the firm…
One Dallas Investment Adviser Suspended, A Second Ordered…
Texas Securities Commissioner Travis J. Iles on June 6 sanctioned two Dallas investment adviser representatives for selling unsuitable investments to clients. The Commissioner suspended investment adviser representative Mark A. Trewitt for 90 days for selling unsuitable investments to clients,…
In A Self-Directed IRA, Make Sure You’re Not…
Investing for retirement usually means buying stocks, bonds, and mutual funds through a workplace retirement plan like a 401(k) or in your own IRA (Individual Retirement Account). If you want to buy riskier assets for your retirement…
Choosing a Financial Professional
At some point you may turn to a financial professional for help, particularly if you’re trying to achieve different goals – such as planning for retirement, financing children’s education, and buying a home. Before you…
Mind Your P’s: Investment Pitches, People, and Products…
This Investor Alert is based on the State Securities Board's updated report on Scams and Unsuitable Investments Certain types of investments—even if they are legitimate—should always raise red flags. If an investment seems overly complicated, promises…
Commissioner Fines Crypto-Investing Firms, Obtains Repayment for Investors
Utah-based firms that illegally sold unregistered cryptocurrency-mining investments paid a $25,000 fine to the State of Texas and will offer Texas residents full repayment of any money they invested. Under the terms of a Feb.…
SEC Emergency Action Charges Texas Real Estate Developer…
The Securities and Exchange Commission announced today that it filed charges against Texas resident and real estate developer Phillip Michael Carter, two other individuals, and several related entities for conducting a multi-million dollar offering fraud.…